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Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691
$1.78T regulatory AUM 16,844 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-01-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Linden Rose Investment Llc | Sugar Land | TX | 02/2016 | 10/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 10/2016 | Present |
| Bank Of America, N.A. | Houston | TX | 03/2017 | Present |
NingZheng INC 5606 Valley Country Ln, Sugar Land, TX 77479 Joint Owner (50/50 ownership with my wife) S Cop for Rental Properties Started 2012 Non-investment related 0 hour spent during security trading hours. less than 10 hours a month spent on this business
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2017-02-13 |
| S65 | Uniform Investment Adviser Law Examination | 2016-05-23 |
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